Shepard Buckman has been an investment adviser representative at Rossby Financial since January 2026, and is not listed among the firm’s executive officers or direct owners.
Rossby Financial, LLC is a Melbourne, FL firm with $855M under management, 3,910 clients and 2 advisers across 19 offices, as of its July 2026 filing.
Shepard Buckman’s longest registration was 9 years at UBS Financial Services Inc. (2008–2018). Before joining Rossby Financial in 2026, Shepard Buckman was registered through Sequence Wealth Management and Equitas Capital Advisors,llc.
- Rossby Financial, LLCCurrent– present · under a yearNew Orleans, LA · Adviser representative · Firm CRD 324631
- Sequence Wealth Management– · 2 yearsNew Orleans, LA · Adviser representative · Firm CRD 325470
- Equitas Capital Advisors,llc– · 3 yearsNew Orleans, LA · Adviser representative · Firm CRD 124471
- United Brokerage Services Inc– · under a yearMcLean, VA · Adviser representative · Firm CRD 39062
- UBS Financial Services Inc.– · 9 yearsWashington, DC · Adviser representative · Firm CRD 8174
- Morgan Stanley & Co. Incorporated– · 1 yearWashington, DC · Adviser representative · Firm CRD 8209
- Morgan Stanley– · 4 yearsWashington, DC · Adviser representative · Firm CRD 7556
- Salomon Smith Barney Inc.– · 1 yearWashington, DC · Adviser representative · Firm CRD 7059
Investment adviser representative registrations
Shepard Buckman is registered as an investment adviser representative in 2 states. The first approvals date from January 2026; the most recent is Virginia, in June 2026.
- LouisianaSince 7 January 2026
- VirginiaSince 2 June 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 3 | National Commodity Futures Examination | 30 July 2019 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 31 | Futures Managed Funds Examination | 8 August 2008 |
| Series 65 | Uniform Investment Adviser Law Examination | 7 September 2000 |
| Series 63 | Uniform Securities Agent State Law Examination | 26 May 2000 |
| Series 7 | General Securities Representative Examination | 12 May 2000 |
- Name
- National Commodity Futures Examination
- Name
- Securities Industry Essentials Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Shepard Alan Buckman
- CRD
- 4118936
- Firm
- Rossby Financial · CRD 324631
- Office
- 6073 Louisville Street, New Orleans, LA 70124
- Registration
- Investment adviser registration
- In the industry since
- June 2001
- Disciplinary history
- Not yet shown here · SEC record
Where does Shepard Buckman work?
Shepard Buckman is an investment adviser representative registered through Rossby Financial, LLC since January 2026, and is not listed among the firm’s executive officers or direct owners.
Is Shepard Buckman a financial advisor?
Yes. Shepard Buckman has a current investment-adviser registration in Louisiana and Virginia, through Rossby Financial since January 2026.
How many years of experience does Shepard Buckman have?
Shepard Buckman has 25 years in the financial industry, since June 2001, across 8 adviser firms.
What exams has Shepard Buckman passed?
Shepard Buckman has passed 5 licensing exams: the Series 7, Series 63, Series 65, Series 31 and Series 3. The earliest, the Series 7, was passed in May 2000. FINRA credited Shepard Buckman with the SIE, which began in October 2018.
Where did Shepard Buckman work before Rossby Financial?
Before Rossby Financial, Shepard Buckman was registered through Equitas Capital Advisors,llc, April 2020 to August 2023; United Brokerage Services Inc, August 2018 to March 2019; UBS Financial Services Inc., November 2008 to August 2018; Morgan Stanley & Co. Incorporated, April 2007 to November 2008; Morgan Stanley, July 2002 to April 2007; Salomon Smith Barney Inc., January 2001 to July 2002.
Where is Shepard Buckman based?
Shepard Buckman’s registered office is in New Orleans, LA.
Is Shepard Buckman registered with FINRA?
No. Shepard Buckman has no current broker registration.
How can I verify Shepard Buckman’s record?
Search CRD 4118936 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Shepard Buckman’s full registration record.
- Marissa HarrisCCO
- Melissa ReaktenwaltEmployee Ownership - Class A and B Shares
- Kelly RennerEmployee Ownership - Class B Shares
- Jason RennerEmployee Ownership - Class B Shares
- Jennifer SzeklinskiEmployee Ownership - Class A and B Shares
- Frances TolerEmployee Ownership - Class B Shares
- Andrew EvansCEO
- Christopher MarsicoMember